Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northwestern Mutual Investment Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Joseph Burdi | 1742582 | 2 | 04/19/2004 | Customer Dispute | Closed-No Action | $8,438.05 | $0.00 | See FINRA Report |
| David Paul Cerny | 2067652 | 1 | 04/05/2004 | Customer Dispute | Settled | $41,683.40 | $0.00 | See FINRA Report |
| Keith Allen Wagner | 2313696 | 2 | 03/22/2004 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Thomas Michael MacK | 2344680 | 1 | 03/17/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas William Swartout | 2631383 | 2 | 03/11/2004 | Customer Dispute | Denied | $5,906.40 | $0.00 | See FINRA Report |
| Tim Russell Neumann | 1612471 | 1 | 12/15/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Anthony Ludacka | 2966632 | 1 | 10/30/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Scott Thomas Penning | 2252909 | 4 | 10/02/2003 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| James Anthony Zara | 2166093 | 4 | 07/28/2003 | Customer Dispute | Denied | $41,929.00 | $0.00 | See FINRA Report |
| Mamie T Sanderson | 2890490 | 1 | 07/22/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |